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VIET NAM ACADEMY OF SOCIAL SCIENCES GRADUATE ACADEMY OF SOCIAL SCIENCES --- LAM VAN DOAN PARTICIPATION OF EMPLOYEES IN NON-STATE ENTERPRISES IN HANOI IN SOCIAL INSURANCE Major: Sociol

VIET NAM ACADEMY OF SOCIAL SCIENCES

GRADUATE ACADEMY OF SOCIAL SCIENCES

-

LAM VAN DOAN

PARTICIPATION OF EMPLOYEES IN NON-STATE ENTERPRISES IN HANOI IN SOCIAL INSURANCE

Major: Sociology Major code: 9 31 03 01

SUMMARY OF DOCTORAL DISSERTATION IN SOCIOLOGY

Hanoi, 2021

The work was completed at VIET NAM GRADUATE ACADEMY OF SOCIAL SCIENCES

Name of Supervisors: 1 Assoc Prof Dr Bui Quang Dung

2 Dr Bui Sy Loi

Reviewer 1: Prof Dr Nguyen Huu Minh

Reviewer 2: Assoc Prof Dr Nguyen Thi Kim Hoa

Reviewer 3: Assoc Prof Dr Do Thi Van Anh

The dissertation is presented at the Academic Dissertation Assessment Council at Viet Nam Graduate Academy of Social Sciences, at … [hour]

… [days] … [months], 2021

The dissertation can be found at the National Library and Library of

Graduate Academy of Social Sciences

INTRODUCTION

1 Research topic

Social insurance is a basic and important policy in the social security system of each and every country Social insurance policies can be categorized into two basic types: compulsory social insurance and voluntary social insurance They have contributed to ensuring social security for all people, equal rights to participate in and enjoy the welfare of employees of all economic sectors, both formal and informal

In fact, the rate of social insurance coverage in our country is still low

As of the end of 2017, only 30.4% of the labor force have participated in social insurance, while about 69.9% have not (equivalent to approximately

34 million working-age people) The number of compulsory social insurance participants as required by law is estimated at 17 million, but so far only 13.59 million people have done so (accounting for 29% of the labor force) After 10 years of implementing the voluntary social insurance policy, the number of new participants reached about 291 thousand, accounting for 0.7% of the total number of employees in the informal sector, without labor relations

Employees in non-state enterprises participating in social insurance have distinctive features compared to those in other enterprises They have

to deal with many factors that create either a favorable impact on or an impediment to the act of participating in social insurance The study of the participation in social insurance of employees in non-state enterprises is thus of great necessity in the current period This is the reason why I have chosen the topic: "Participation of employees in non-state enterprises in Hanoi in social insurance" as my PhD dissertation in sociology, with the aspiration to contribute to the theoretical and practical foundations of this matter to raise the awareness of policy makers and policy implementation organizations of the system of factors related to the social insurance participation of employees in enterprises in general and that of non-state enterprises in particular Specifically, they help to improve the effectiveness

of social insurance policies for employees

2 Research objectives and tasks

2.1 Research objectives

Analyze the current status of employee participation in non-state enterprises in Hanoi in social insurance; factors affecting the employee

participation in social insurance in these enterprises Based on this analysis, the author proposes solutions to promote employee participation in social insurance at these enterprises in order to improve the effectiveness of implementing social insurance policies and ensuring social security for employees

In addition, the dissertation also applies a number of sociological theories to explain the behavior of social insurance participants in non-state enterprises

in order to ensure social security when facing risks at work and after retirement

2- Based on secondary data sources and surveys, the dissertation identifies the current status of employees' participation in social insurancein non-state enterprises

3- Analyze the factors affecting the employee participation in social insurancein non-state enterprises

4- Propose solutions to promote the expansion of the scope of subjects participating in social insurance in non-state enterprises, thus making contributions to improving the effectiveness of implementing social insurance policies and ensuring social security for employees in the context

of social insurance in a socialist-oriented market economy

3 Subject, objects and scope

are employers/business owners and state management agencies related to the field of social insurance

3.2.3 Scope of content: The dissertation focuses on research on employees participating in the compulsory social insurance policy in non-state enterprises The subjects participating in compulsory social insurance

in this enterprise comply with the provisions of Article 2 of the Law on Social Insurance (2014)

4 Research questions and hypotheses

of employees in non-state enterprises in social insurance

5 Analytical framework

6 Research Methodology

The dissertation uses the following research methods

6.1 Document analysis method

6.1.1 Source material

- Analyze available documents such as legal documents, documents of books, newspapers, magazines, research topics and results related to the research field from domestic and foreign sources to understand the research problem and remaining gaps, develop the theoretical basis, research questions and research hypotheses and aim at making proposals and recommendations to improve social insurance policies for workers in the formal sector

- Secondary data focuses on 2 main sources: + The electronic data source on employees and enterprises participating in compulsory social insurance of Hanoi city is managed by the Information Technology System Operation Center of Viet Nam Social Insurance (including: state-owned enterprises, foreign-invested enterprises and non-state enterprises);

+ The results of enterprise survey data in Hanoi were conducted by the General Statistics Office in 3 years: 2016, 2017, 2018

6.1.2 Data Analysis

The data analysis was performed by PhD student as follows:

- For the data used to analyze the current status of social insurance participation of employees in non-state enterprises in Hanoi: PhD student uses Excel data files available from the IT System Operation Center under the Viet Nam Social Insurance to select data for analysis

- For the data used to analyze the factors affecting the participation in social insurance of non-state enterprises in Hanoi, the researcher used logistic regression analysis method

6.1.3 Limitations of the method

- The source of electronic data on employees and enterprises

participating in compulsory social insurance of Hanoi city is limited as the collected indicators only include a number of socio-demographic criteria groups in association with the management objectives of Viet Nam Social Security Information on workers' needs, motivations, habits, lifestyles, etc and information on the role of trade unions must come from other secondary sources of information

- The results of the enterprise survey in Hanoi were conducted by the General Statistics Office in 2016, 2017 and 2018 Limitations: The data source still lacks individual characteristics of employees (only general data

on employees are available on gender, ethnicity, place of residence, permanent residence and place of birth; there is a lack of data on the correlation between the individual characteristics of employees and their participation in social insurance for regression analysis)

6.2 Qualitative research methods

The dissertation conducted in-depth interviews with 24 cases by the method of intentional selection, focusing mainly on the group of employees; In addition, there is a group of employers and social insurance officers and labor managers to supplement information for research results

6.3 Non-participating observation method

7 New scientific contributions of the dissertation

So far, from the perspective of policy, law and economy, there have been quite a few studies on social security, the collection of social insurance and voluntary social insurance, and some sociological studies on voluntary social insurance However, there have not been many sociological works on the topic of participation in compulsory social insurance of employees in non-state enterprises, compared to those in state-owned enterprises and foreign-invested enterprises Therefore, the conduct of a sociological study

of social insurance participation of employees working in this type of enterprise has both practical and theoretical implications

8 Structure of the dissertation

In addition to the introduction, conclusion, recommendations, list of references and appendix, the structural thesis consists of 4 chapters:

Chapter 1: Literature review on participation of employees in non-state enterprises in Hanoi in social insurance

Chapter 2: Theoretical basis of research on participation of employees

in non-state enterprises in Hanoi in social insurance

Chapter 3: Actual situation of participation of employees in non-state enterprises in Hanoi in social insurance

Chapter 4 Impact factors and solutions to promote employee participation in non-state enterprises in Hanoi in social insurance

CHAPTER 1 LITERATURE REVIEW ON PARTICIPATION OF EMPLOYEES

IN NON-STATE ENTERPRISES IN HANOI IN SOCIAL

Based on the research results available at home and abroad, chapter I overall clarifies the following contents: research in the field of social security; social insurance; factors affecting the participation in social insurance; solutions for policy formulation and implementation of social insurance

Research on social security and social insurance are quite diverse and rich from social sciences and humanities to the mapping out of guidelines and policies The system of concepts and models of social security has been well defined Each country has its own viewpoint and understanding of social security as well as its own set of social security models In general, the purpose of social security is to create a safety net for all members of the social community vis-à-vis the risks in life

The concept of social insurance has been specifically mentioned in detail in policy and legal documents as well as in many scientific studies However, the concept of social insurance widely used by many people is still a concept in legal documents Many international organizations, policy makers and scientists have focused their research on social insurance with such contents as: operation of the social insurance fund; development of a modern Vietnamese social insurance system and solutions for Viet Nam's social insurance; renewal and development of Viet Nam's social insurance; status of participation in voluntary social insurance in some localities, a number of thematic reports to serve in the law-making work; participation

in social insurance in enterprises; difficulties and barriers to participating in social insurance…

An overview of the research situation has also gathered and analyzed a number of studies related to factors affecting the participation of employees

in social insurance Although the reviewed studies are not really close to the research subjects and objects, these influencing factors have suggestive properties that help the PhD student in designing and building the toolkit as well as in completing the following contents of the Dissertation in the process of data analysis

Some findings from the overview of factors affecting the participation

in social insurance such as social insurance arrears, advantages and disadvantages of enterprises and employees in participating in social insurance social insurance; age and income factors; employment status without social insurance (no labor contract, workers work in a hazardous environment, low wages and instability); inadequate awareness of workers' social insurance; unstable employment and low income; high social insurance premiums; the time to enjoy the regime is quite long; procedures for participation in social insurance are cumbersome, complicated and not flexible; lack of information; distrust; no need to participate in social insurance; social insurance premiums are still high; household; the policy system on social insurance has not been completed; circumventing the law

of business owners in paying social insurance premiums for employees… The overview of the research situation has also shown some solutions to improving the effectiveness of social insurance in Viet Nam

Theoretical and practical research works on social security, social insurance, factors affecting social insurance participation, solutions to develop social insurance and social security is quite rich and diverse However, there are still some research gaps that need to be supplemented such as: there are few studies on the theory and theory of social security and social insurance; research on the actual situation of compulsory social insurance participation has not been attended to; there is a lack of research

on social insurance participation in different types of beneficiaries In particular, there is a lack of research on factors affecting the participation of employees in non-state enterprises in social insurance,on social insurance theory, and on the status and factors affecting the participation of employees in non-state enterprises in compulsory social insurance

CHAPTER 2 THEORETICAL BASIS OF RESEARCH ON

PARTICIPATION OF EMPLOYEES IN NON-STATE

ENTERPRISES IN HANOI

IN SOCIAL INSURANCE

To clarify the theoretical and practical basis of the topic, this chapter focuses on analyzing working concepts, manipulating concepts, and presenting theories used to analyze and interpret research results Besides, this chapter also presents the system of social security and social insurance

in the world and in Viet Nam,

2.1 The basic concepts

- The concept of social insurance: Currently, the Law on Social Insurance (2014) defines that: Social insurance is a guarantee to replace or partially compensate an employee's income when he/she encounters a decrease or loss of income due to illness, pregnancy, occupational accident, occupational disease, end of working age or death, on the basis of his/her contribution to the social insurance fund

Social insurance policy is mainly composed of two policies:

- Compulsory social insurance is a type of social insurance organized

by the State which according to the provisions of law, employees and employers must participate This is applicable to employees in the formal economic sector whohave labor relations and mainly working for enterprises, organizations and economic units

- Voluntary social insurance is a type of social insurance organized by the State in which the participating employees (mainly working in the informal economic sector andhaving no labor relations) can choose a payment rate and payment method suitable to their incomeand there are state policies to support social insurance contributions so that participants can enjoy the social insurance regime

The Law on Social Insurance (2014) also stipulates that compulsory social insurance includes the following benefits: sickness; maternity; occupational accidents, occupational diseases; retirement; survivorship; and as for voluntary social insurance, there are only two regimes: retirement and death

- The concept of enterprises, non-state enterprises:

Enterprise is defined as an economic unit that performs independent economic accounting, has full legal status, and is established under the Law

on Enterprises, the Law on Investment (Law on Foreign Direct Investment),

or the Law on Investment Agreements signed between the Vietnamese Government and foreign governments include the following types of enterprises: state-owned enterprises, non-state enterprises, and foreign-invested enterprises

Non-state enterprises include domestic capital enterprises that are privately owned or owned by a group of people with state ownership but accounting for 50% or less of the charter capital The non-state enterprise sector includes: (1) private enterprises; (2) partnership; (3) private limited liability company; (4) joint stock companies without state capital; (5) joint stock companies with state capital of 50% or less of charter capital In this thesis, only focusing on the type of non-state enterprises, there are many issues to consider for the social insurance policy for employees

- The concept of employees, employees participating in compulsory social insurance

The Labor Code explains the concept of “Employee is a person who is full 15 years of age or older, has the ability to work, works under a labor contract, is paid a salary and is subject to the management and administration of the employer” (Clause 1, Article 3) The Law on Social Insurance (2014) stipulates that all employees have the right to participate

in compulsory or voluntary social insurance, in which subjects participating

in compulsory social insurance include six groups of employees participating in labor relations (Clause 1, Article 2, Law on Social Insurance)

2.2 Theoretical approaches

2.2.1 Role theory

The dissertation also uses the role theory of Ralph Linton (1893-1953) who was the first to determine the sociological content of the concept of position and role; Parsons' role systems theory explains that social roles establish a social system; Merton's role-set theory explains that there are roles that are synthetic, collective, dominant, overarching other roles In the labor relationship, the laborer is an employee, working for the employer, so the former is dependent on, and at a lower position than, the employer Accordingly, the participation in social insurance of the employee is also influenced by their social position in labor relations Employees perform many different roles, but the one as a employee will dominate the roles of

citizen, union member in labor relations, social insurance, and others This will influence and affect the behavior of employees participating in social insurance Employees are increasingly playing a more active and proactive role, in line with the innovation of labor relations, of the State, employees and businesses in the context of developing a socialist-oriented market economy and international integration

2.2.2 Rational choice theory

Sociologists namely Weber, George Homans, PeterBlau and James Coleman argue that people always act on purpose and thoughtfully to select and use resources rationally to achieve maximum results with minimum cost Therefore, individual employees and employers when opting for participating or not participating in social insurance (including avoiding participation in social insurance), calculate on the gain and loss which they think are the most beneficial to them when participating in social insurance, associated with the characteristics of labor relations in the context of a socialist-oriented market economy - where market changes are not completely based on market relations, but intervened by the role of the state

in shaping institutions and policies to ensure sustainable development goals

in terms of society and social justice

2.2.3 Life cycle theory

The life cycle theory approach claims that human life is a process that says human life is a life process with many stages, each requires a number of different social security policies, and social insurance The United Nations Development Program (UNDP, 2015) when assessing the social security system in Viet Nam has stated that “not all stages of the human life cycle are supported… The social security system misses the middle group”, which means little/no attention is paid to the working-age workers in the informal sector, with no labor relations, therefore, the majority of the Vietnamese elderly will not enjoy pension insurance when they are over their working age (male: 60 years old; female: 55 years old)

2.3 The views and guidelines of the Party, policies and laws of the State on social security and social insurance

The Party's guidelines and policies on social security policy system have been increasingly improved along with the process of developing a socialist-oriented market economy and international integration The state has institutionalised the Party's documents related to social security and